His primary focus is on filing all relevant monthly and quarterly financial reports to FINRA and SEC, and on monitoring the firm’s adherence to SEC and FINRA rules, including (but not limited to) anti-money laundering, business continuity, books and records retention and continuing education.
Prior to joining A&M, Mr. Winters spent six years as Principal Examiner of the New York Stock Exchange. In this role, he conducted and lead examinations of some of the largest broker-dealers for regulatory compliance in all relevant Net Capital, Reserve Formula and Sales Practice rules, including special examinations on research analysts and hedge funds.
Previously, he was the Chief Financial Officer of Sandgrain Securities, a NASD member firm, and before that, he was Chief Financial Officer of Midwood Securities, a NYSE member firm.
Mr. Winters earned a bachelor’s degree in finance and a master’s degree in business administration from Fordham University. He is registered as a Series 7 (General Securities Representative), Series 24 (General Securities Principal), Series 27 (Financial and Operational Principal) and Series 79 (Investment Banking Representative).